Displaying 1361 - 1370 of 4652 Results
Overview
This guidance is intended to provide direction on key information for a prospective and existing FINRA member firm that is contemplating to engage in activities utilizing an online platform or mobile application.1 Under Standard 6 of FINRA’s Standards for Admission (Standard), an applicant’s online platform or mobile application that the applicant intends to employ for the purpose of
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 8 representative
North Region Committee, District 9 representative
South Region Committee, District 7
We don't need additional regulations on leveraged funds, I want to maintain my freedom to invest in public securities of my choosing. It should be my decision what I invest in, not yours. I don't need you to decide what is suitable for me. If information provided by sellers is truthful you have done your part and it is up to me to decide what investments I wish to make.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On May 1, 1990, the SEC approved an amendment to Schedule H of the NASD By-Laws to require member firms to file specified information with the NASD before initiating (or resuming) a quotation of a non-NASDAQ over-the-counter
I would like clarification on a timeline for these changes to be implemented. How realistic is this change and how far along is it? In addition, do you have any information on what the history would look like and if any historical data will be freely available to us or is it going to be only on a go-forward basis?
Investors should be able to determine if they want to use leveraged and or inverse funds, or any other type fund for that matter. The information is available to make an educated decision on my own, I do not need regulators to make this decision on my behalf.
There are risks with any investment, that is why there are returns to be had. Investors need to exercise good judgement. Do not remove my
I do not support this regulation. I trade stocks for a living and these vehicles are vital to my ability to make a living. Regulations restricting leveraged and inverse funds are onerous and unnecessary. There are more than enough disclosures required by brokers that can inform the retail investor. These actions will only enrich an already highly-profitable financial industry through the forced
I strongly oppose additional regulations that would limit my ability to make my own investment decisions and manage my own risk. The existing requirement to provide a prospectus already provides investors with adequate risk information, however, I suggest adding content to the prospectus rather than creating burdensome new requirements that seem intended to discourage a particular type of
It is not the role of regulators to allow what investors can or should invest in. Regulators should however look at conflicts of interest, such as congressmen and women trading individual stocks. Dont limit the options of everyday investors who are already at a disadvantage. Regulate the advantaged (make hedge funds report more information, ban individual stock trades for congress, etc.) and
It is not necessary to restrict my access to different products. It is all right to send information and warnings if the SEC deem certain products are not straight forward, but it is NOT correct to restrict my ability to purchase or sell such investments.
This is nothing worse than "the government knows best." Our country is founded on freedoms. "We know what is best